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Showing 131 to 140 of 1294 search results for final notice refers to breaches of MAR.

  1. Final Notice 2022: Thomas Henry Ward [pdf]

    Final notices Published: 17/05/2022
    This Final Notice (Thomas Henry Ward) refers to breaches of section 63A FSMA and FIT related to a lack of fitness/propriety in the investment adviser and pensions sector. We imposed a prohibition and financial penalty.

  2. Final notice 2016: Abbas Khan trading as Parry Lane Services [pdf]

    Final notices Published: 03/03/2016 Last modified: 03/03/2016
    This final notice refers to breaches of Principle 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  3. FCA Final Notice 2013: Derek Jones [pdf]

    Final notices Published: 29/04/2013 Last modified: 19/05/2015
    This final notice refers to breaches of APER 6 related to lack of fitness /propriety in the mortgage and consumer credit sector. We imposed a prohibition.

  4. Final Notice 2015: Kevin Allen [pdf]

    Final notices Published: 09/06/2015 Last modified: 09/06/2015
    This final notice refers to breaches of APER 1 & FIT related to lack of fitness/propriety in the Mortgages sector. We imposed a prohibition and a public censure.

  5. FCA Final Notice 2014: Michael Bains [pdf]

    Final notices Published: 06/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of FIT related to lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.

  6. FCA Final Notice 2013: Daniel Norris [pdf]

    Final notices Published: 23/10/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 11 related to threshold conditions in the general insurance and protection. We imposed a cancellation.

  7. FCA Final Notice 2014: UBS AG [pdf]

    Final notices Published: 12/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 related to wholesale conduct and benchmarks in the investment bank sector. We imposed a fine.

  8. FCA Final Notice 2014: Andrew Barlas [pdf]

    Final notices Published: 24/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 1 related to mortgage fraud in the mortgages sector. We imposed a public censure.

  9. Final Notice 2016: Iain Strang [pdf]

    Final notices Published: 25/11/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.

  10. Final Notice 2017: Billy Davis [pdf]

    Final notices Published: 12/04/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
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